Thomas A. Kieffer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Anthony Kieffer was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 9 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - February 17, 2022
CEROS FINANCIAL SERVICES, INC.
June 10, 2004 - December 31, 2009
GIRARD SECURITIES, INC.
September 13, 2002 - December 31, 2009
GIRARD SECURITIES, INC.
September 2, 1997 - November 21, 2005
ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC
September 2, 1997 - December 31, 2025
ST. LOUIS FINANCIAL PLANNERS INC.
August 8, 1988 - September 18, 2002
SPELMAN & CO., INC.
May 28, 1980 - August 15, 1988
FIRST AFFILIATED SECURITIES, INC.
November 15, 1978 - June 30, 1980
FSC SECURITIES CORPORATION
June 1, 1971 - October 28, 1977
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 1, 1971 - October 28, 1977
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 5/22/1971
Registered Representative ExaminationCurrent Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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